Top 28133 Psychologists, All Other Jobs in Charlotte, NC

Compliance/Operations Principal
Innovation Partners, LLC —Charlotte, NC
- $76,000 - $95,000 a year
- Full-time
- Bachelor of Science
- Office
- Bachelor's degree
- Health savings account
- Relocation assistance
Quick Apply
Safety Coordinator
ASD Team, LLC —Matthews, NC
- $18 - $20 an hour
- Full-time
- Mid-level
- Organizational skills
- In-person
- Paid time off
Quick Apply
Office Team Lead
ICON AEROSPACE —Indian Trail, NC
- From $25 an hour
- Full-time
- Mid-level
- Office
- In-person
- Health insurance
- Dental insurance
Quick Apply
10h
Senior Property Manager
CommonPlace —Charlotte, NC
- Full-time
- Ability to walk for extended periods
- Mid-level
- 3 years
- Disability insurance
- Health insurance
Quick Apply
14d
Dental Assistant
North State Perio —Charlotte, NC
- $18 - $26 an hour
- Full-time
- CPR Certification
- Dental office
- In-person
- Continuing education credits
- Health insurance
Quick Apply
Event Security Officer - Bank of America Stadium
BEST Crowd Management —Charlotte, NC
- $16 an hour
- Part-time
- Background check
- 18 years or older
- Ability to walk for extended periods
- Opportunities for advancement
- Flexible schedule
Contract Specialist
Lott Med —Charlotte, NC
- $25 - $28 an hour
- Part-time
- Mid-level
- Office
- In-person
Quick Apply
Full Time Security Agent
FORTIS GROUP —Pineville, NC
- $22 - $23 an hour
- Full-time
- 18 years or older
- Ability to walk for extended periods
- Military
- Flexible schedule
Quick Apply
7h
Non CDL Delivery Driver
Johnson Brothers - Mutual Distributing of North Carolina —Charlotte, NC
- Full-time
- Background check
- Merchandising
- Pass drug screening
- Health insurance
- Dental insurance
Quick Apply
9d
Customer Grievance Analyst
Convey Health Solutions —Charlotte, NC
- $18 - $20 an hour
- Temporary
- Remote
- Microsoft Outlook
- Writing skills
- Basic math
Quick Apply
12h
Unarmed Flex Security Officers - All Shifts - $19.00/hr
Sunstates Security —Charlotte, NC
- $19 an hour
- Overtime
- Customer service
- Ability to walk for extended periods
- Computer literacy
- Paid holidays
- Health insurance
Personal Care Assistant PCA
Cross Country Community Care —Charlotte, NC
- $19 an hour
- Part-time
- Current TB test
- Patient monitoring
- Caregiving
- Referral program
Quick Apply
Office Services Associate
RR Donnelley —Charlotte, NC
- $21 - $25 an hour
- Overtime
- Hospitality
- Pass drug screening
- Office
- Disability insurance
- Health insurance
Quick Apply
Substitute Teacher(Charlotte ES) - Charlotte
TMSA Public Charter Schools —Charlotte, NC
- Up to $130 a day
- Part-time
- School experience
- Classroom
- Computer literacy
DISHWASHER
The Cowfish, Charlotte —Charlotte, NC
- $15 - $20 an hour
- Full-time
- 18 years or older
- Restaurant experience
- Communication skills
- Paid training
- Health insurance
Quick Apply
Administrative Assistant
Charlotte Gastroenterology & Hepatology —Huntersville, NC
- Full-time
- Office
- Typing
- In-person
- Profit sharing
- Health savings account
Quick Apply
Pharmaceutical Territory Manager
Perfero Pharma, Inc. —Charlotte, NC
- $85,000 - $125,000 a year
- Full-time
- Background check
- Pass drug screening
- Mid-level
- Travel reimbursement
- Paid holidays
Quick Apply
2d
Delivery Driver
Keystone Automotive Industries —Charlotte, NC
- Full-time
- Clean driving record
- Microsoft Outlook
- Customer service
- Paid parental leave
- Disability insurance
2d
Retail Merchandiser - Gift Cards - Fort Mill, SC
Blackhawk Network —Charlotte, NC
- Part-time
- Background check
- Merchandising
- Pass drug screening
1d
Customer Advocate
Safelite —Charlotte, NC
- From $20 an hour
- Full-time
- Mid-level
- Administrative experience
- High school diploma or GED
- Paid training
- Paid holidays
9d

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Psychologists, All Other jobs near Charlotte, NC

Compliance/Operations Principal

Innovation Partners, LLC
Charlotte, NC

Quick Apply

Job Details

Full-time
$76,000 - $95,000 a year

Benefits

Health savings account
Relocation assistance
Health insurance
Dental insurance
401(k)
Flexible spending account
Tuition reimbursement
Paid time off
Employee assistance program
401(k) matching
Professional development assistance
Flexible schedule
Referral program

Qualifications

Bachelor of Science
FINRA
Bachelor's degree
FINRA License
Financial services
Bachelor of Arts

Full Job Description

About us

Innovation Partners, LLC

Innovation Partners, LLC (IPL), is a diversified financial services and consulting firm. It is a state registered Broker Dealer and is registered with FINRA and SIPC. The firm is registered with the SEC as an Investment Advisory firm.

Our firm provides high value risk management, actuarial analysis, benefits consulting, investment banking, financial consulting, management consulting, insurance consulting, and investment advisory services to clients throughout America. We consult to a large number of local and multinational clients such as insurance companies, re-insurers, banks, fund managers, broker dealers, regulatory bodies, government entities and retail organizations.

Our multi-disciplined approach to financial and management consulting permits us to serve our clients in a broader and more complete fashion than is possible by any traditional firm.

Our team is composed of actuaries, investment professionals, attorneys and other experts – all of whom have years of experience in the financial services and other industries. Our principals and key thought leaders have over 200 years of combined financial and corporate experience in the services described in this solicitation.

With offices on both the East and West coasts, Innovation Partners is well positioned to quickly address the needs of our clients.

We are looking for a broker-dealer Compliance Officer/specialist to ensure that our broker-dealer operations and business transactions follow all relevant FINRA and internal rules. You will review the activities of our registered representatives and IARs and provide advice on compliance. To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with FINRA and SEC rules, risk management, and industry’s standards. If you have a sharp business acumen, we’d like to meet you. Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.

Responsibilities

Review / supervise registered representatives and IARs in accordance with FINRA and SEC rules
Review advertising materials and websites
Review social media and other registered representatives and IARs activities
Review CE and firm element requirements
Review new business and products as needed
Create sound internal controls and monitor adherence to them
Proactively audit processes, practices and documents to identify weaknesses
Evaluate business activities (e.g. investments) to assess compliance risk
Collaborate with external auditors and other company personnel when needed
Educate and train registered representatives and IARs on regulations and industry practices
Address registered representatives and IARs' concerns or questions on legal compliance
Keep abreast of internal standards and business goals

Skills

Proven experience as a broker-dealer/RIA Compliance Officer or Compliance Specialist
Experience in risk management
Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
Familiarity with industry practices and professional standards
Excellent communication skills
Integrity and professional ethics
Business acumen
Teamwork skills
Attention to detail
BSc/BA
Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus
FINRA license, preferably Series 6, 7, 26, 24, 65, or 66

Job Type: Full-time

Pay: $76,000.00 - $95,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Employee assistance program
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Paid time off
Professional development assistance
Referral program
Relocation assistance
Tuition reimbursement

License/Certification:

FINRA License (Required)

Work Location: In person

Quick Apply

Refine Your Search

Psychologists, All Other jobs in Charlotte, NC

Compliance/Operations Principal

Safety Coordinator

Office Team Lead

Senior Property Manager

Dental Assistant

Event Security Officer - Bank of America Stadium

Contract Specialist

Full Time Security Agent

Non CDL Delivery Driver

Customer Grievance Analyst

Unarmed Flex Security Officers - All Shifts - $19.00/hr

Personal Care Assistant PCA

Office Services Associate

Substitute Teacher(Charlotte ES) - Charlotte

DISHWASHER

Administrative Assistant

Pharmaceutical Territory Manager

Delivery Driver

Retail Merchandiser - Gift Cards - Fort Mill, SC

Customer Advocate

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